Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
Vigilant Compliance Newsletter | June 2025
June 30, 2025Monthly Newsletter Printer Friendly Version In June, there were important releases including SEC Releases and a Vigilant Shortlist Award Announcement.[...]
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SEC Office of the Investor Advocate Releases FY 2026 Objectives
June 30, 2025SEC Releases Introduction The SEC’s Office of Investor Advocate (OIAD) was designed to assist retail investors with resolving any significant[...]
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Vigilant Shortlisted for Hedge Fund Compliance Award
June 26, 2025Vigilant Announcements Building off of our With Intelligence Hedge Fund Manager (“HFM”) Award Win last year, Vigilant is thrilled to announce that we have[...]
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Custody Rule and Disclosure Violations
June 24, 2025SEC Releases Introduction The SEC obtained a final judgement against a New York RIA this month (June, 2025) for failing[...]
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Firm Charged for Fraudulent Press Release Statements
June 18, 2025SEC Releases Introduction While the industry continues to see some relief from the rulemaking of the previous administration, there are[...]
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SEC Withdraws 14 Proposed Rules
June 13, 2025SEC Releases Introduction The SEC has just withdrawn 14 Proposed Rules from the prior Administration. Majority of the withdrawn Proposed[...]
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SEC Chair Testimony Before Senate Subcommittee | Key Takeaways
June 12, 2025SEC Releases Introduction SEC Chair, Paul Atkins, provided a testimony to the United States Senate Appropriations Subcommittee on Financial Services[...]
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RIA Charged for Disclosure Failures and Misleading Statements
June 10, 2025SEC Releases Introduction An RIA was charged this month (June, 2025) for failing in their fiduciary duties. The Firm allegedly[...]
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SEC’s Emerging Trends in Asset Management Conference | Key Takeaways
June 06, 2025SEC RELEASES Introduction The SEC held its 2025 Conference on Emerging Trends in Asset Management to explore how innovation, regulation,[...]
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Vigilant Compliance Newsletter | May 2025
June 04, 2025Monthly Newsletter Printer Friendly Version In May, there were important releases including Vigilant Insights and SEC Releases. Below is a brief[...]
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Rulemaking and Economic Analysis | Paul Atkins Remarks
May 28, 2025SEC RELEASES Introduction On May 16, 2025, the SEC Chair, Paul Atkins, spoke at the 12th annual conference on Financial[...]
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Adopted Amendments to Reg S-P
May 20, 2025SEC Releases Introduction The Acting Director, Division of Examinations, Keith Cassidy, spoke last week about the approach the Division takes[...]
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